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ML

Mario Lotufo

MODERN PRIVATE EQUITY PARTNERS
Spencer, TN 38585
Some features on this profile are disabled
CRD#: 4646369
ML

Professional summary

Mario Lotufo is a registered financial professional currently at MODERN PRIVATE EQUITY PARTNERS, LLC located in Spencer, Tennessee.

Mario is registered as a RR (Registered Representative) and started their career in finance in 2003. Mario has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mario Lotufo's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

February 9, 2024 - Present

MODERN PRIVATE EQUITY PARTNERS, LLC

Office #1: 2847 Long Branch Road, Spencer, TN 38585
BD
CRD#: 326206
Spencer, TN
Past

February 12, 2021 - January 29, 2024

VCP APEX (US)

BD
CRD#: 169090
NEW YORK, NY
Past

March 11, 2011 - October 28, 2020

MAA - MENTOR ALTERNATIVE ADVISORS LLC

BD
CRD#: 154411
GREENWICH, CT
Past

March 16, 2010 - December 1, 2015

MENTOR INTERNATIONAL LLC

RIA
CRD#: 152863
GREENWICH, CT
Past

April 21, 2003 - November 19, 2009

BOSTON PARTNERS SECURITIES, L.L.C.

BD
CRD#: 2998
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(2/20/2024)
RR
Florida
(12/18/2024)
RR
Tennessee
(2/9/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/22/2010
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/12/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/18/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/28/2007
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MP
MODERN PRIVATE EQUITY PARTNERS, LLC
MODERN PRIVATE EQUITY PARTNERS, LLC

CRD#: 326206 / SEC#: , 8-71116

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
2847 Long Branch Road, Spencer, TN 38585
Mailing Address
2847 Long Branch Road, Spencer, TN 38585
Phone number
(646) 734-1881
Established
Tennessee since 05/02/2022
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BENDER, STEVEN CHRISTOPHERMEMBER, ELECTED MANAGER, OWNER, FINOP, GSP2650187
LEVINE, GREGORYMEMBER, ELECTED MANAGER, OWNER, CEO, CCO, GSP4002386
LEVINE, AUDREY ROSEASSISTANT COMPLIANCE OFFICER7687224

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

MODERN PRIVATE EQUITY PARTNERS, LLC

CRD#: 326206Spencer, TN 38585

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